LEONARD SILVIO MORANO is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 5401 S. KIRKMAN ROAD, SUITE 750, ORLANDO, FL, 32819.
LEONARD SILVIO MORANO has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since June 12, 2014
LEONARD SILVIO MORANO has 2 Disclosure Event(s).
Date: June 29, 1995 Category: Customer Dispute Allegations: IN 1992 I WAS A SALES MANAGER WITH MY AGENT DOUG PAULICK, THE CLIENT PURCHASED A VARIABLE LIFE CONTRACT. IN 1995, THE CLIENT STATES THEY DID NOT GET WHAT THEY THOUGHT THEY WERE BUYING. PRUDENTIAL JUST RETURNED THEIR ORIGINAL INVESTED AMOUNT OF $14,500. CASE CLOSED 10/17/1995. Damage Amount Requested: $14,500.00 Settlement Amount: $14,500.00 Broker Comment: IT IS MY UNDERSTANDING THAT PRUDENTIAL REVERSED THE CASE AND RETURNED THE CUSTOMER`S MONEY. AT THE TIME OF THIS SALE, I WAS THE AGENT SALES MANAGER AND SAT IN ON THE SALE. IT IS MY UNDERSTANDING THAT MR SIMMONS LATER EXPLAINED THAT HE WAS UNAWARE HE WAS PURCHASING A LIFE INSURANCE POLICY, WHICH SEEMED UNLIKELY SINCE MR SIMMONS WAS A LICENSED INSURANCE AGENT. IT IS MY UNDERSTANDING THAT PRUDENTIAL REVERSED THE CASE AND RETURNED THE CLIENT`S MONEY.
Date: May 06, 1994 Category: Customer Dispute Allegations: IN 1992 I WAS A SALES MANAGER. WITH MY AGENT CATHY CERULLO THE CLIENT PURCHASED A VARIABLE LIFE CONTRACT. IN 1994 THE CLIENT STATES HE HAD ONLY TO PUT IN $20,000 ONE TIME. THE COMPANY HONORED HER REQUEST FOR RETURN OF HER $20,000. THE CASE WAS CLOSED ON 5/2/95. Damage Amount Requested: $20,000.00 Settlement Amount: $20,000.00
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for LEONARD SILVIO MORANO, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More